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Professional Practice Securities

Read need-to-know updates, commentary, and analysis on Professional Practice issues written by leading professionals.

They can’t see it, since they caused it

by Ary Rosenbaum on

A few years back, I had the worst call with a prospective client in the 19 years I have been an ERISA attorney. This 401(k) plan sponsor was like many prospective clients, poor participation and paying too much in fees....more

Advisors Advantage - August 2017

by Ary Rosenbaum on

Marketing For Plan Providers: What It Can Do And What It Can't. It's not the answer for everything. For retirement plan providers, good marketing is essential. It's so essential that there are marketing gurus out...more

The Appearance of Impropriety

by Ary Rosenbaum on

For some reason, the unincorporated village I live in has its own Sanitation District where a lot of unethical things have gone on in the past where a father and son once ruled with an iron fist. One man challenged the status...more

Advisors Advantage - July 2017

by Ary Rosenbaum on

Creating Content That Will "Click". It will help you in the long run. In the old days, newspaper and television advertising were the way that you could get your message across to potential clients and sources for...more

Advisors Advantage - June 2017

by Ary Rosenbaum on

We Didn't Start The 401(k) Fire; It's Always Been Burning. The problems have always been there. I live in Long Island, so I think by a local law, I have to be a Billy Joel fan. He's not up there with Aerosmith, The...more

Are Forensic Accountants an Attorney’s Silver Bullet?

by Foodman CPAs & Advisors on

From the art of interviewing, to recognizing mathematical irregularities, and following the money, Forensic Accountants are a proven invaluable tool for Attorneys and their clients. “Finding” the money combines the skill...more

Law Firm Data Breaches Demonstrate the Expanding Scope of Cyber Attacks

In a case of “cyber meets securities fraud,” the United States Attorney’s Office for the Southern District of New York (“SDNY”) recently indicted three foreign nationals on charges of insider trading, wire fraud, and computer...more

This Week in FCPA-Epiode 23, the Wells Fargo edition

by Thomas Fox on

In this week's episode, Jay Rosen and I discuss the following: Show notes for this week’s edition: 1. Tom's week long series on Well’s Fargo scandal. 2. Christina Muehl’s two part series on Corruption, Crime and...more

This Week in FCPA-Episode 12

by Thomas Fox on

In this episode, Jay Rosen and myself take a look at the line drawn from the Yates Memo to the hiring of Hui Chen, to the Pilot Program, the 3 enforcement actions since then and conclude that FCPA enforcement is changing. Jay...more

This Week in FCPA-Episode 11

by Thomas Fox on

In this episode, Jay Rosen and I discuss the Analogic FCPA settlement, the VW emissions-testing scandal settlement, the implications of Brexit for compliance and some significant deaths in the worlds of music and sports. ...more

Collective Investment Trusts as Retirement Plan Investment Options: Important Tax and ERISA Considerations

by Nexsen Pruet, PLLC on

Nexsen Pruet tax and employee benefits attorney Sue Odom says retirement plan fees and expenses have been the “hot topic” for the past several years. We’ve seen increased regulation through disclosure requirements and...more

Drafting Employment Agreements – What Can We Learn from Ralph Lauren

by Shipman & Goodwin LLP on

One of the little facts that’s not widely known is that the SEC typically publishes all sorts of executive employment agreements for publicly-traded companies. They’re ready and available for download....more

Glossary of Important Securities Regulation Terms and Definitions

This Glossary is designed to provide law students taking Securities Regulation with a tool that will assist them in learning the basic language of securities law and achieve a working knowledge of the fundamental principles...more

FCPA Compliance and Ethics Report-Episode 181-Gar Hurst on Using Social Media Tools In Your Compliance Program

by Thomas Fox on

In this episode I visit with Gar Hurst, a partner at Givens and Johnston, an import/export compliance firm. He and his firm have developed a SW app, which capitalizes on social media concepts to assist his clients in import...more

Insurance Recovery Law - May 2015 #2

Recent Lawsuit Underscores Critical Lessons for Purchasers of Cyber Insurance - Why it matters: Columbia Casualty Company v. Cottage Health Systems was filed on May 7, 2015, in the Central District of California. Cottage...more

What is Bitcoin 2.0?

by Mimesis Law on

Jan. 21, 2015 (Mimesis Law) -- Houman Shadab, professor at New York Law School, talks with Lee Pacchia about the concept of Bitcoin 2.0 and the types of opportunities the crypto-currency presents for law students. ...more

Representing Others Before The SEC

by Allen Matkins on

Not too long ago, I wrote about the Shareholder Rights Project (SRP) at Harvard Law School, noting that the SRP’s website and correspondence to the Securities and Exchange Commission explicitly stated that the SRP was...more

Minority Powerbrokers Q&A: Carlton Fields' Ann Black

by Carlton Fields on

Ann Young Black is a shareholder and co-chairwoman of the financial services regulatory practice group at Carlton Fields Jorden Burt PA. She counsels financial services clients on a broad range of insurance, securities and...more

Shareholder Rights Project Rewrites Website

by Allen Matkins on

Last week when I visited the Shareholder Rights Project’s website, I noted that the SRP described itself as “representing and advising five institutional investors, four public pension funds and one foundation”. Not being...more

How This Investment Firm Hopes to Revolutionize Litigation in America

by Mimesis Law on

Oct. 30, 2014 (Mimesis Law) -- Ralph Sutton, Chief Investment Officer at Bentham IMF, talks with Lee Pacchia about the business of funding small to medium-sized plaintiffs in commercial and patent litigation around the world....more

The General Counsel Is Not The Shareholders’ Agent

by Allen Matkins on

A recent paper by Adair Morse, Wei Wang, and Serena Wu, Executive Gatekeepers: Useful and Divertible Governance, tackles interesting questions about the the effectiveness of internal gatekeepers and the impact of equity...more

Davis Polk's Litigation Group Continues to Drive Growth

by Mimesis Law on

Sept. 11, 2014 (Mimesis Law) -- Thomas Reid, managing partner at Davis Polk & Wardwell, talks with Lee Pacchia about how a busy litigation group and a resurgence in M&A activity has kept his firm on sound financial footing in...more

Delaware Supreme Court Rules That Privileged Documents Must Be Produced To Shareholders Investigating Corporate Misconduct

by Bracewell LLP on

The Delaware Supreme Court recently held that, in certain circumstances, shareholders may be able to obtain access to privileged, internal documents in order to investigate potential breaches of fiduciary duty. In Wal-Mart...more

The Root Cause of Skyrocketing Securities Class Action Defense Costs

Why do the costs of defending securities class actions continue to increase? Because of my writing on the subject) I’m asked about the issue a lot. My answer has evolved from blaming biglaw economics – a combination of...more

How Chadbourne & Parke, LLC v. Troice Threatens The Defense Of The Guilty And The Innocent

by Allen Matkins on

The U.S. Supreme Court’s recent decision in Chadbourne & Parke, LLC v. Troice, 571 U.S. ___ (2014) arose out of the a multibillion dollar Ponzi scheme perpetrated by Allen Stanford. The scheme involved the sale to investors...more

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